Category: Unsuitable Investments
Did you lose money investing with former UBS Financial Services Inc. broker Carlos Rodriguez (CRD# 4363000)? Rodriguez was registered with UBS Financial Services Inc. in Plano, Texas from 2009 to 2015. In July 2017, FINRA barred Rodriguez after he failed … Continue reading
Did you lose money investing with Oppenheimer & Co. Inc. broker Steven Baaden (CRD# 1266766)? Baaden has been registered with Oppenheimer & Co. Inc. in Los Angeles, California since 2013. Baaden has been the subject of seven customer complaints between … Continue reading
In March 2021, a former client of Allstate Financial Services, LLC won an award in a FINRA arbitration for compensatory damages for $400,000 plus interest, as well as the $425 non-refundable portion of the filing fee for investment losses. The … Continue reading
Erez Law is currently investigating former IFS Securities broker Steven Schisler (CRD# 2367961) regarding unsuitable investment recommendations. Schisler was registered with IFS Securities in Grassvalley, California from 2012 to 2019. In April 2021, FINRA named Schisler a respondent in a … Continue reading
Did you lose money investing with former FSC Securities Corporation broker Scott Ferguson (CRD# 4668142)? Ferguson has been registered with Cambridge Investment Research, Inc. in Brunswick, Maryland since October 2019. Previously, Ferguson was registered with FSC Securities Corporation in Silver … Continue reading
There are options for clients of Ausdal Financial Partners, Inc. broker Kurt Baldry (CRD# 1568930) who suffered investment losses. Baldry has been registered with Ausdal Financial Partners, Inc. in Ostego, Minnesota since 2011. Baldry has been the subject of two … Continue reading
Were you the victim of former Laidlaw & Company (Uk) Ltd. broker Robert Yasnis (CRD# 2399141)? Yasnis has been registered with Worden Capital Management LLC in New York, New York since 2017. Previously, Yasnis was registered with Laidlaw & Company … Continue reading
Former Aegis Capital Corp. broker Kishan Parikh (CRD# 5506554) is accused of unsuitable investment recommendations. Parikh has been registered with Aegis Capital Corp. in New York, New York from 2012 to 2019. Parikh has been the subject of two customer … Continue reading
Erez Law is currently investigating former LPL Financial LLC broker Paz Chandra (CRD# 2405701) regarding unsuitable alternative investment recommendations. Chandra has been registered with Royal Alliance Associates, Inc. Clearwater, Florida since 2018. Previously, Signator Investors, Inc. in Clearwater, Florida from … Continue reading
There are options for clients of former Voya Financial Advisors, Inc. broker Peter Mersberger (CRD# 2372186) who suffered investment losses. Mersberger has been registered with Cambridge Investment Research, Inc. in Appleton, Wisconsin since 2017. Previously, Mersberger was registered with Voya … Continue reading